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Showing 122 to 131 of 1205 search results for issue a warning notice.
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FCA Warning List of unauthorised firms
Search our Warning List to find details of unauthorised firms and individuals that we’re aware of, that aren’t allowed to operate in the UK. -
Pension scheme operators are at risk from smarter scams
The FCA highlights risks from authorised firms failing to carry out appropriate due diligence on investment offerings. -
FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading
The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of -
Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Deutsche Bank fined £4.7m for failing to properly report transactions
Other firms should be in no doubt about our continued focus on this issue.". ... issued Deutsche with a private warning in relation to other similar transaction reporting failures. -
AXA fined and reviews investment sales for advice failings
The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers. -
Benchmarks Regulation: our powers, policy and decision-making
Our policy approach to exercising our powers over critical benchmarks, and our decisions to use these powers to help manage an orderly wind-down of LIBOR. -
Reports about sexual and non-financial misconduct made to the FCA
The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Relending by high-cost lenders
This report sets out our review findings of relending by firms in the high-cost lenders portfolio. -
FCA regulation boosts consumer protection in the funeral plans market
The FCA is authorising 26 providers. These firms hold approximately 1.6 million plans, which make up 87% of the market.